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SEC Form 4

FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number: 3235-0287 Estimated average burden hours per response: 0.5

  

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).

  

Check this box to indicate that a transaction was made pursuant to a contract,
instruction or written plan for the purchase or sale of equity securities of the
issuer that is intended to satisfy the affirmative defense conditions of Rule
10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person*

HAYES GREGORY

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(Last) (First) (Middle)

1000 WILSON BLVD.

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(Street)

ARLINGTON VA 22209

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(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
RTX Corp [ RTX ] 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X Director 10% Owner X Officer (give title below) Other (specify below) Chairman
and CEO

3. Date of Earliest Transaction (Month/Day/Year)
04/25/2024 4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)

X Form filed by One Reporting Person Form filed by More than One Reporting
Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed
Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4.
Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of
Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect
Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock
04/25/2024 M 224,734(1) A $71.01 791,457 D Common Stock 04/25/2024 M 140,884(1)
A $85.47 932,341 D Common Stock 04/25/2024 D 17,297 D $101.54 915,044 D Common
Stock 04/25/2024 S 22,424 D $101.652(2) 892,620 D Common Stock 04/25/2024 D
34,366 D $101.68 858,254 D Common Stock 04/25/2024 D 35,014 D $101.4 823,240 D
Common Stock 04/25/2024 D 35,049 D $101.3 788,191 D Common Stock 04/25/2024 D
42,045 D $101.64 746,146 D Common Stock 04/25/2024 D 42,049 D $101.63 704,097 D
Common Stock 04/25/2024 S 67,338 D $101.3705(3) 636,759 D Common Stock
04/25/2024 D 70,036 D $101.39 566,723 D Common Stock 1,096 I By Children's Trust
Accounts Common Stock 12,747 I By Savings Plan Trustee Common Stock 874 I By
Spouse Common Stock 2,859 I By Spouse's Savings Plan Account

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) 1. Title of
Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative
Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any
(Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative
Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date
Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of
Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of
Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct
(D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership
(Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or
Number of Shares Stock Appreciation Right $85.47 04/25/2024 M 140,884 01/02/2018
01/01/2025 Common Stock 140,884 $0.0000 0.0000 D Stock Appreciation Right $71.01
04/25/2024 M 224,734 01/04/2019 01/03/2026 Common Stock 224,734 $0.0000 0.0000 D

Explanation of Responses: 1. The Stock Appreciation Rights (SARs) were settled
in shares in accordance with the terms of the award. For Section 16 reporting
purposes, the exercise of SARs for stock is treated as an exempt acquisition of
the shares underlying the SARs at the exercise price per share specified in the
award of SARs and a simultaneous sale back to the issuer of a number of the
underlying shares having a value, based on the market price of the issuer's
stock on the date of the exercise, equal to the product of the number of
underlying SARs times the exercise price per share. 2. The reported price is
based on a weighted average of multiple same-day transactions with prices
ranging from $101.62 to $101.71 per share. Full information regarding the number
of shares sold at each separate price is available to the Securities and
Exchange Commission, the Issuer or any security holder of the Issuer upon
request. 3. The reported price is based on a weighted average of multiple
same-day transactions with prices ranging from $101.30 to $101.54 per share.
Full information regarding the number of shares sold at each separate price is
available to the Securities and Exchange Commission, the Issuer or any security
holder of the Issuer upon request.

/s/ Michelle G. Gewandter, as Attorney-In-Fact 04/29/2024 ** Signature of
Reporting Person Date Reminder: Report on a separate line for each class of
securities beneficially owned directly or indirectly. * If the form is filed by
more than one reporting person, see Instruction 4 (b)(v). ** Intentional
misstatements or omissions of facts constitute Federal Criminal Violations See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one
of which must be manually signed. If space is insufficient, see Instruction 6
for procedure. Persons who respond to the collection of information contained in
this form are not required to respond unless the form displays a currently valid
OMB Number.